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Headline Issue Diary Date
Transaction monitoring 230 CompliNEWS 03 Jul 2022
FINRA fines Barclays $2.8m over supervision, disclosure lapses 230 CompliNEWS 03 Jul 2022
Finding opportunity in a world of uncertainty 230 CompliNEWS 03 Jul 2022
UK MPs warn against ‘dirty money enablers’ 230 CompliNEWS 03 Jul 2022
Dishonest claimant loses entire damages award 230 CompliNEWS 03 Jul 2022
The Mauritian Virtual Asset and Initial Token Offering Services Act, 2021, comes into force; AML risk assessment released 230 CompliNEWS 03 Jul 2022
IQ-EQ handed £800,000 (R15m) fine in Jersey for regulatory breaches 230 CompliNEWS 03 Jul 2022
Update to Targeted Financial Sanctions (TFS) list 230 CompliNEWS 03 Jul 2022
FATF and its impact on country’s economy due to grey listing 230 CompliNEWS 03 Jul 2022
Bitcoin firm Mirror Trading International charged with fraud 230 CompliNEWS 03 Jul 2022
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Working Smart

By Lee Rossini

Business continuity planning (BCP) is a structured approach that ensures a financial advice business can continue operating during and after unexpected disruptions. These disruptions might include natural disasters, cyberattacks, power outages, regulatory shocks, or even the sudden loss of key personnel. In a profession built on trust, timely communication and regulatory compliance, having a robust continuity plan is not optional; it is essential for protecting clients, safeguarding data and preserving the firm’s reputation.

CPD

Subscribers are reminded that they can complete monthly CPD quizzes and claim CPD hours before the 31 May deadline. View the CPD FAQs for more on accessing the CPD quizzes.

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